1. U. S. Department of Energy (DOE) SBIR and STTR Programs Overview
Chris O’Gwin
DOE SBIR/STTR Programs Office
2017 SBIR Villanova Workshop
July 27, 2017

2. DOE SBIR/STTR Programs Office
DOE Mission
Ensure U.S. energy security & prosperity
Addressing its energy, environmental, & nuclear challenges through transformative S&T solutions
DOE SBIR/STTR solutions sought in the following technology areas:
Energy Efficiency and Renewable Energy
Next Generation Scientific Instruments
Physical Sciences
Nuclear Security
Environmental Clean-Up
Chris O’Gwin (301)

3. DOE SBIR/STTR Programs Office
Chris O’Gwin (301)
Annual SBIR/STTR Budget
FY17 $225M
Funding Opportunities
Two Phase I Funding Opportunity Announcements a year
Release 1 in July & Release 2 in October
Topics
60 SBIR/STTR topics with 245 subtopics each year
Use the same topics for SBIR and STTR
Awards
In FY 2017, 3337 Phase I awards, up to $225K each and 153 Phase II’s up to $1.5M

4. DOE SBIR/STTR Programs Office
Uniqueness
Competitive grants, not contracts
1 application for either or both SBIR and STTR
Phase 0 Program Assistance
Online grant application assistance portal –
Technology Transfer Opportunities
Sequential Phase II awards
Phase II A: new R&D activities
Phase II B: transition to commercialization
Commercialization Assistance
Phase I: $5,000 total to develop a compelling Phase II commercialization plan
Phase II: $5,000 per year, $10,000 total; flexible offerings to meet a variety of commercialization needs
Chris O’Gwin (301)

5. Goal 1: Clean Energy Technologies
Clean Energy Technology Research Programs
Office of Electricity Delivery and Energy Reliability
Office of Energy Efficiency and Renewable Energy
Office of Fossil Energy
Office of Nuclear Energy
R&D Topic Areas
Clean Coal Technologies
Advanced Turbine Technology
Oil and Gas Technologies
Advanced Materials and Technologies for Nuclear Energy
Smart Grid Technologies
Energy Storage
Bioenergy & Biofuels
Hydrogen & Fuel Cells
Solar Power
Water Power
Wind Energy
Advanced Manufacturing
Efficient Buildings & Vehicles
OE: This office has responsibility to modernize the electric grid, including improving the security and reliability, especially in times of disruption. OE has typically sponsored SBIR topics related to making the grid smarter and more efficient as well as providing energy storage on the grid for both very short peak loads using technologies such as flywheels as well as longer terms storage grid storage needs for renewable energy technologies using batteries, compressed air, hydropower, etc.
EERE funds R&D for using the energy we produce more efficiently as well as developing renewable energy technologies. Examples of energy efficiency R&D areas include (1) more efficient buildings (HVAC, lighting); (2) more efficient vehicles (hybrid vehicle technologies); and (3) more efficient industrial processes. Renewable energy technologies include solar, wind, hydropower, biofuels, and geothermal technologies.
FE. The office Fossil Energy funds research to use carbon based fuels more efficiently (such as more efficient gas turbines) and with less impact on the environment (cleaner coal technologies, carbon sequestration). Fossil fuels provide >80% of the energy in this country and are project to continue to do so through 2030.
NE: the office of Nuclear Energy is focused on insuring the safe operation of the existing nuclear power plants and developing safe, cost-effective reactors for future deployment. Nuclear is considered by some, to be an important element of decreasing our future dependence on fossil fuels. NE for SBIR has focused its topics on the development of advanced sensor systems for monitoring reactor performance and status as well as for developing advanced materials for nuclear reactors.
Note that the applied program can change their topics quite a bit from year to year, and even emphasize different programs from year to year. It is not possible to easily forecast topics. The Science and Nuclear programs topics tend to evolve more gradually but there are exceptions.

6. Goal 2: Science and Engineering Leadership
Science and Engineering Research Programs
Advanced Scientific Computing Research
Basic Energy Sciences
Biological and Environmental Research
Fusion Energy Sciences
High Energy Physics
Nuclear Physics
R&D Topic Areas
Advanced Detectors
Accelerator technology
RF Components and Systems
Data Acquisition, Processing and Analysis
Fusion Energy Systems
High Performance Computing & Networking
BigData
Modeling and Simulation
Atmospheric Measurement Technology
Genomic Science and Related Biotechnologies
Advanced Sources: neutron, x-ray, electron
The six program offices in the Office of Science make almost 2/3 of DOE’s SBIR/STTR awards. Although you may be more attracted to the topics from Goal 1, I would encourage you to consider these programs as well if your technology can address their needs which are quite diverse.
ASCR: The focus of this office is high performance computing and networking to address the most challenging computational needs for modeling, simulation, and data analysis. This office funds some of the most advanced computing facilities in the world at DOE National Labs. For SBIR this year, ASCR is seeking innovative proposals in deploying high speed networks and utlizing high performance computing for advanced manufacturing.
BES: funds the development of advanced user facilities in DOE National Labs that use x-rays, neutrons, and electrons to probe the structure of matter as well as basic research in chemistry, materials science, and geosciences as they relate to energy production and storage. SBIR topics include advanced technologies that will enable next generation analytical capabilities as well as materials for energy industries.
BER: The research here spans biological research that supports the production of biofuels as well as environmental research that includes climate change modeling and subsurface contamination fate and transport.
FES, HEP, NP: All involve fundamental physics research into processes happening at the nuclear and elementary particles. These programs collectively have a large emphasis on accelerator and detection technologies. FES has a longer term goal of developing of developing a commercially viable fusion energy solution.

7. DOE Program Offices Supporting Goal 3: Nuclear Security
Nuclear Security Research Programs
Office of Defense Nuclear Nonproliferation
Office of Environmental Management
R&D Topic Areas
Novel Radiation Monitoring Concepts
In Situ Remediation
Facility Deactivation and Decommissioning
Remote Sensing
Global Nuclear Safeguards R&D
Nuclear Detonation Detection
DNN: Is focused on detecting and preventing the illicit transport of nuclear materials and weapons, as well remote detection of nuclear detonations. For SBIR, its primary focus is on the remote sensing and detection technologies.
EM: EM is responsible for the clean up of contaminated sites (both nuclear and chemical) resulting from previous weapons development activities. Through SBIR they are seeking novel detection and remediation technologies from small businesses.

8. FY 2018 SBIR/STTR Phase I Funding Opportunity Announcements
Office of Advanced Scientific Computing Research (ASCR)
Office of Basic Energy Sciences (BES)
Office of Biological and Environmental Research (BES)
Office of Nuclear Physics (NP)
Phase I
Release 1
Office of Defense Nuclear Nonproliferation (NA)
Office of Electricity Delivery and Energy Reliability (OE)
Office of Energy Efficiency and Renewable Energy (EERE)
Office of Environmental Management (EM)
Office of Fossil Energy (FE)
Office of Fusion Energy Sciences (FES)
Office of High Energy Physics (HEP)
Office of Nuclear Energy (NE)
Phase I
Release 2

9. Schedule: FY18 Phase I, Releases 1&2
Phase I FOA Schedule
Release 1
Release 2
Topics Issued
July 18, 2016
October 30, 2016
Topic Webinars
Week of July 24, 2016
Week of November 06, 2016
Funding Opportunity Announcement Issued
August 14, 2016
November 27, 2016
FOA Webinar
August 18, 2016
December 01, 2016
Letters of Intent Due
September 05, 2016
December 18, 2016
Full Applications Due
October 16, 2016
February 06, 2018
Award Notification
January 8, 2018*
April 30, 2018*
Grant Start Date
February 20, 2018*
June 11, 2018*
*preliminary dates subject to change

10. Application & Award Statistics for FY 2017
Phase I
1,553 applications
337 awards
Awards per topic: Generally 0 to many. It varies greatly by program. Some programs that are interested in many diverse areas will put out more topics than they plan to make awards. Others such as EERE have only two topics this year and I would expect each topic to have greater than 10 awards.

11. Phase I Awardees: First Time Winners & Applicants
% of Phase I Awardees
Many applicants who are new to the program wonder if only more experienced companies can effectively compete for awards. The answer is no. Typically about 1/6 awards we make every year go to companies who are first time applicants to the DOE program. Another 1/6 may be first time winners who have prevously applied.
Of course this means that about 2/3 have previously received awards and this is largely the result of the fact that there are a large number of small businesses who have used the program in the past. Since it typically takes at least a few awards to complete the R&D for a new technology, the repeat winners are not discouraged. (In the upcoming reauthorization of the SBIR program, they will even permit sequential Phase II awards for technology that requires Phase II R&D longer than 2 years.)

12. Technical Reviewer Affiliation
The majority of reviewers for DOE are not paid. Some individual programs that do panel reviews do pay reviewers a nominal fee for their time.
Reviewers agree that (1) they will keep application information confidential and (2) they do not have a conflict of interest in reviewing the application.

13. Phase 0 Assistance Program
Goal
increase the number of responsive, high quality proposals from under-represented groups
small businesses from states with historically low SBIR/STTR applications to the DOE
AK, DC, GA, HI, IA, ID, IN, KS, LA, ME, MN, MS, MT, NC, ND, NE, NY, OK, PA, PR, RI, SC, SD, WA, WI
women-owned small businesses
minority-owned small businesses
Services
Letter of Intent (LOI) writing assistance
Phase I proposal preparation, review and submission assistance
Small business development training and mentoring
Communication and market research assistance
Technology advice and consultation
Indirect rate and financial information
Partner Travel (promote collaboration with DOE Labs)
Cost
No cost to DOE participants
Phase 0 Program: 

14. Online Application Help
We have launched a new online learning system to assist new applicants:
Additional resources can be found on our website:

15. Top 5 Application Errors
Serious Errors (Applications Ineligible for Review & Administratively Declined)
Failed to update SAM registration early—unable to submit application to Grants.gov by deadline
Failed to submit a Phase I Commercialization Plan
Submit in Field 12 of the Research & Related : Other Project Information Form
Improper filenames for attachments to grants.gov application
Use only standard characters in file names: A through Z, a through z, 0 through 9, and underscore (_). Do not use any special characters (example: “&”, “-“, “*”, “%”, “/”, and “#”) or spacing in the file name. Use underscore (example: “My_Attached_File.pdf”) for word separation.
Other Errors (may limit funding eligibility or delay award processing, if recommended for award)
Failed to accurately calculate level of effort (for SBIR and/or STTR)
Use level of effort worksheet to assist you with the calculation
Failed to properly mark proprietary data
See FOA for instructions

16. DOE SBIR/STTR Programs Office Contact Information
SBIR/STTR Web:
SBIR/STTR Mailing list:
Phone:
DOE Phase 0 Program:
DOE Phase 0 Online Learning Center: